1

` 

October 2016

Questions and 

Answers: An Overview 

of Inspections 

Conducted under the 

Horse Protection Act 

for the Management of 

Horse Shows, 

Exhibitions, Sales, and 

Auctions

Q. What is the Horse Protection Act?

A. Congress enacted the Horse Protection

Act1 (HPA or Act) to end the cruel and

inhumane practice of soring horses. 2 The

practice of soring is intended to improve the

performance of a horse at horse shows and

exhibitions by altering its gait through the

use of a device, substance, or other physical

practice that causes the horse to suffer, or

reasonably be expected to suffer, pain,

inflammation, or lameness while walking,

trotting, or moving. This practice can

produce a high-stepping gait that has been

prized in certain competitions involving

Tennessee Walking Horses and other

breeds. This practice is not only cruel and

inhumane, but also results in unfair

1 15 U.S.C. § 1821-1831.

2 This Tech Note is intended to summarize 

provisions of the HPA and regulations (9 

C.F.R. 11.1 et seq.). It does not supersede

the HPA or regulations, any other law or

regulation, or any applicable policy or

procedure.

competition that damages the integrity of the 

breed.

Q. How does the HPA combat soring?

A. The HPA establishes a multi-tiered

structure to end the practice of soring. First,

it makes it unlawful for any person to show,

exhibit, sell, or transport sore horses, or to

use any prohibited equipment, device,

paraphernalia, or substance in horse shows,

exhibitions, sales, or auctions. Second, it

holds horse owners responsible for allowing

such unlawful activities. Third, it entrusts

management3 of horse shows, exhibitions,

sales, and auctions with ensuring that sore

horses do not unfairly compete with horses

that are not sore. The HPA imposes

penalties and other sanctions for violations,

after notice and an opportunity for a hearing.

Q. I am a new show manager. What are

my responsibilities under the HPA?

A. The HPA requires management to

disqualify sore horses from being shown or

exhibited and prohibit their sale or auction.

Management may elect to appoint and retain

non-governmental inspectors, known as

“Designated Qualified Persons” (DQPs), to

inspect horses on its behalf, and to detect

and diagnose sore horses. Management

utilizing DQPs may be held liable for failing

to disqualify from being shown or exhibited

or prohibit from being sold or auctioned “any

horse (1) which is sore, and (B) after having

been notified by such person or the

3 Management means any person or 

persons who organize, exercise control over, 

or administer or are responsible for 

organizing, directing, or administering any 

horse show, horse exhibition, horse sale or 

horse auction and specifically includes, but 

is not limited to, the sponsoring organization 

and show manager.
2

Secretary that the horse is sore or after

otherwise having knowledge that the horse 

is sore.”4 Management that does not use 

DQPs may be held liable for failing to

disqualify from being shown or exhibited or

prohibit from being sold or auctioned “any

horse which is sore.”5

In addition, the HPA and its regulations

entrust management with providing the 

USDA with adequate space and facilities to

conduct inspections, maintaining and 

providing accurate records and information 

to the USDA, and other responsibilities. For

more information about management’s

responsibilities under the HPA, please refer

to Animal Care’s Tech Note entitled,

“Responsibilities of Management of Horse 

Shows, Exhibitions, Sales, and Auctions,” 

which is available on the Internet at: 

https://www.aphis.usda.gov/publications/

animal_welfare/2016/October-2016-HPAmanagement-tech-note-final-102116.pdf

Q. I am interested in appointing and

retaining a DQP to conduct inspections at

a horse show I manage. How can I find

out who is a DQP?

A. DQPs are licensed by USDA-certified

horse industry organizations and

associations (HIOs). APHIS maintains a list

of certified HIOs on its website at:

https://www.aphis.usda.gov/animal_welfare/

hp/downloads/hio/certified-horse-industryorganizations.pdf

Additionally, APHIS maintains a list of DQPs

that are licensed by the certified HIOs. This

list can be found on the Internet at:

https://www.aphis.usda.gov/animal_welfare/

hp/downloads/hio/HIO_DQP_list.pdf.

Q. Will APHIS notify management in

advance if it intends to conduct

inspections at a horse show, exhibition,

sale, or auction?

A. No. APHIS representatives conduct

unannounced inspections at horse shows,

exhibitions, sales, and auctions to assess

compliance with the HPA and the HPA

regulations. The management of every horse

show, exhibition, sale, or auction, must

provide, without fee, sufficient space and

facilities for APHIS representatives to

4 15 U.S.C. § 1824(5)-(6).

5 15 U.S.C. § 1824(3)-(4).

carry out their duties under the Act and 

regulations.

Q. If APHIS conducts inspections at a

horse show I manage, will APHIS inform

me of any horse allegedly found to be in

violation of the HPA?

A. Pursuant to the HPA, the responsibility

for disqualifying sore horses is placed solely 

on the management of horse shows, 

exhibitions, sales, and auctions. If, following 

an inspection of a horse, an APHIS 

representative has evidence that a horse is

sore, APHIS will notify management, so that 

management can make a decision as to 

whether to disqualify the horse. 

Q. If I appoint and retain a DQP to

conduct inspections on my behalf, will

the DQP notify me of any horses

allegedly found to be in violation of the

Act or regulations?

A. Pursuant to the HPA regulations, DQPs

are to immediately inform management of

each case regarding any horse that, in his

opinion, is allegedly in violation of the Act or

regulations.

Q. What if management does not agree

with the results of an inspection by a

DQP or APHIS representative?

A. Management retains sole responsibility

for determining whether to disqualify the

horse and must make its own informed

decision as to whether to disqualify a horse

from being shown, exhibited, sold, or

auctioned in a horse show, exhibition, sale,

or auction. If a sore horse is shown,

exhibited, sold, or auctioned, and

management had knowledge that the horse

is sore, management may be subject to

penalties and other sanctions under the

HPA, after notice and an opportunity for a

hearing.

Q. What are the penalties for violating

the HPA?

A. The HPA provides for both civil and

criminal penalties for violations, including the

following:

• A person who violates the Act is

subject to a civil penalty of not more

than $2,2006 for each violation.

6 The Secretary of Agriculture, pursuant to 

the Federal Civil Inflation Adjustment Act of 
3

• The HPA also authorizes the

Secretary to disqualify violators from

showing or exhibiting horses and

from judging or managing horse

shows, exhibitions, sales, and

auctions for a period of not less than

one year for the first violation, and

for a period of not less than five

years for any subsequent violation.

• Any person who knowingly fails to

obey an order of disqualification is

subject to a civil penalty of not more

than $4,3007 for each violation.

• The management of any horse

show, exhibition, sale, or auction,

which knowingly allows any person

who is under a disqualification order

to show or exhibit any horse, to

enter for the purpose of showing or

exhibiting any horse, to take part in

the managing or judging, or

otherwise participate in any horse

show, exhibition, sale, or auction in

violation of a disqualification order is

subject to a civil penalty of not more

than $3,000 for each violation.

• Any person who knowingly violates

the Act is subject to a fine of not

more than $3,000, and/or

imprisonment of not more than one

year for the first violation, and a fine

of not more than $5,000 and/or

imprisonment of not more than two

years after one or more prior

convictions.

1990, as amended (28 U.S.C. § 2461 note), 

adjusted the civil penalty that may be 

assessed under the HPA for each violation 

of 15 U.S.C. § 1824 occurring after June 23,

2005 by increasing the maximum civil 

penalty from $2,000 to $2,200 (7 C.F.R. 

§ 3.91(b)(2)(viii)) and $3,000 to $4,300 (7

C.F.R. § 3.91(b)(2)(ix)).

7 See Footnote 9.

Q. I do not want to be held liable for

allowing a person who is under

disqualification to show at my horse

show. How can I find out who is

currently under disqualification?

A. APHIS maintains a list of persons that are

disqualified by order of the Secretary from

showing or exhibiting a horse, or judging or

managing any horse show, exhibition, sale,

or auction. This list can be found on the

Internet at:

https://www.aphis.usda.gov/aphis/ourfocus/b

usiness-services/ies/hpa_disqualification_list.

Additional Information

For more information contact: 

USDA Animal Care 

2150 Centre Ave.

Building B, Mailstop 3W11

Fort Collins, CO 80526-8117

E–mail: horseprotection@usda.gov

Phone: (970) 747-7478 

USDA is an equal opportunity provider and 

employer.